13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-16, with 3,725 holding rows worth $245,842,332,000.
- Accession
- 0000950123-20-012002
- Filer
- CIK 820027
- Filed
- 2020-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A combination report, 9,226 entries on the cover page, a total value of $245,842,332,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $245,842,332,000 with VALUE read as thousands by filing date, 13F file number 028-00139. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerColumbia Management Investment Advisers, LLC 028-10477
- reports for this filerAmeriprise Trust Co 028-10458
- reports for this filerAmeriprise Certificate Co 028-00140
- reports for this filerRiverSource Life Insurance Co 028-00143
- reports for this filerRiverSource Life Insurance Co of New York 028-10460
- reports for this filerThreadneedle Asset Management Holdings LTD 028-10644
- reports for this filerAmeriprise Financial Services, LLC 028-14918
- reports for this filerColumbia Wanger Asset Management, LLC. 028-03639
- reports for this filerAmeriprise Bank, FSB 028-18942
- included managerColumbia Management Investment Advisers, LLC 028-10477
- included managerAmeriprise Trust Co 028-10458
- included managerAmeriprise Certificate Co 028-00140
- included managerRiverSource Life Insurance Co 028-00143
- included managerRiverSource Life Insurance Co of New York 028-10460
- included managerThreadneedle Asset Management Holdings LTD 028-10644
- included managerAmeriprise Financial Services, LLC 028-14918
- included managerColumbia Wanger Asset Management, LLC. 028-03639
- included managerAmeriprise Bank, FSB 028-18942
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 31,696 | $229,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 25,058 | $228,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 1,675 | $227,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 18,176 | $226,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 5,578 | $226,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 33,900 | $226,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 6,131 | $225,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 14,567 | $225,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 50,766 | $224,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 29,845 | $222,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 4,236 | $222,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 23,326 | $222,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 16,970 | $221,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 3,587 | $219,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 42,375 | $219,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 2,698 | $218,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 3,179 | $218,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 42,938 | $218,000 | thousands by filing date | |
| GFL ENVIRONMENTAL INC SUB VTG SHS | 36168Q104 | Stock | 10,190 | $217,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 7,699 | $216,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 63,715 | $216,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 1,575 | $213,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 3,120 | $212,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 3,930 | $212,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 21,137 | $212,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 19,895 | $210,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 15,763 | $209,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 6,144 | $209,000 | thousands by filing date | |
| TRIP COM GROUP LTD ADS | 89677Q107 | ADR | 6,670 | $208,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 7,812 | $207,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 7,140 | $207,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 22,590 | $207,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 200,000 | $207,000 | thousands by filing date | principal |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 27,882 | $206,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432326 | HIG DV STK ETF | 8,616 | $205,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 41,508 | $205,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 2,014 | $204,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 3,649 | $204,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 4,125 | $204,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V571 | GLOBAL DRGN CN | 3,848 | $203,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 8,595 | $202,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 9,527 | $202,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 200,327 | $200,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 12,139 | $199,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 16,586 | $197,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 23,365 | $196,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 23,100 | $196,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 52,040 | $194,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 14,416 | $193,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 14,295 | $191,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 27,828 | $191,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 62,690 | $191,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 15,110 | $190,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 14,129 | $190,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 16,368 | $189,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 11,700 | $186,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 13,175 | $185,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 21,900 | $185,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 31,930 | $183,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 19,935 | $180,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 12,053 | $177,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 13,400 | $177,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 15,786 | $175,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 10,716 | $175,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 10,380 | $175,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 50,624 | $174,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 10,832 | $174,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 12,228 | $174,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 13,403 | $173,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 13,400 | $172,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 11,507 | $171,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC | 02376RAF9 | NOTE 6.500% 7/0 | 185,000 | $171,000 | thousands by filing date | principal |
| Zagg, Inc. | 98884U108 | COM | 61,020 | $170,000 | thousands by filing date | |
| MAGNITE INC COM | 55955D100 | Stock | 24,308 | $169,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 14,924 | $169,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 19,420 | $169,000 | thousands by filing date | |
| ALBERTSONS COMPANIES INC COMMON STOCK | 013091103 | Stock | 12,136 | $168,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 12,616 | $166,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 12,168 | $165,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 11,695 | $165,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 12,022 | $162,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 18,721 | $162,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 16,251 | $160,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 11,663 | $160,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 12,558 | $159,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 13,845 | $157,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 18,783 | $156,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 29,645 | $156,000 | thousands by filing date | |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 10,390 | $153,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 16,290 | $153,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 41,383 | $151,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 12,527 | $151,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 15,925 | $151,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 10,244 | $150,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,242 | $150,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 32,755 | $149,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 43,510 | $149,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 12,036 | $149,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 12,416 | $149,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 12,761 | $147,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 37,371 | $146,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 10,817 | $146,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 13,805 | $144,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 14,257 | $144,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 11,640 | $143,000 | thousands by filing date | |
| WESTERN MIDSTREAM PARTNERS L | 958669103 | COM UNIT LP INT | 17,895 | $143,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 88,500 | $142,000 | thousands by filing date | |
| DZS INC | 268211109 | COMMON STOCK | 15,016 | $141,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 17,909 | $140,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 28,744 | $139,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 30,198 | $139,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 56,687 | $138,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 46,503 | $138,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 48,935 | $135,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 35,571 | $135,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,583 | $135,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 22,042 | $132,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 19,426 | $131,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 16,735 | $126,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 61,004 | $125,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 10,926 | $123,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 11,448 | $122,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 22,920 | $121,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 18,858 | $119,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 11,837 | $116,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 48,680 | $116,000 | thousands by filing date | |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 14,150 | $115,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 14,570 | $111,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 17,000 | $111,000 | thousands by filing date | principal |
| B2GOLD CORP COM | 11777Q209 | Stock | 16,893 | $110,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 34,100 | $110,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 26,391 | $110,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 44,000 | $109,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 38,505 | $105,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 12,824 | $104,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 10,576 | $104,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 28,365 | $102,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 44,847 | $101,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 17,110 | $101,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 15,105 | $99,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 10,573 | $99,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 15,242 | $99,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 12,466 | $98,000 | thousands by filing date | |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 14,815 | $96,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 68,975 | $96,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 16,222 | $94,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 17,863 | $92,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 13,991 | $92,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 50,949 | $91,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 30,401 | $89,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 19,738 | $87,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 28,866 | $86,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 14,090 | $86,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y201 | COM | 10,102 | $85,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 11,348 | $83,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 11,620 | $82,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 10,142 | $80,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 11,054 | $79,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 12,061 | $79,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 10,299 | $78,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 24,141 | $74,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 24,500 | $73,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 12,732 | $72,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 10,007 | $72,000 | thousands by filing date | |
| BIOCEPT INC | 09072V501 | COM | 15,805 | $70,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 23,000 | $69,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 27,246 | $66,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 70,574 | $62,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 13,381 | $58,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 13,984 | $56,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 23,161 | $56,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 31,863 | $55,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 11,193 | $54,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 12,532 | $54,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 12,253 | $49,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 18,186 | $48,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 13,000 | $48,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 30,000 | $46,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 13,671 | $46,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 22,700 | $45,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 44,000 | $44,000 | thousands by filing date | principal |
| ELEVATE CREDIT INC | 28621V101 | COM | 17,085 | $44,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 17,058 | $43,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 14,405 | $40,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 12,184 | $40,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 13,610 | $39,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 14,500 | $39,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 10,000 | $38,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 46,206 | $36,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,300 | $32,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 31,000 | $31,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 16,808 | $29,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 11,962 | $28,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 13,395 | $28,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 52,688 | $27,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,000 | $26,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 11,975 | $24,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 39,790 | $24,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 20,859 | $22,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 20,366 | $21,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 16,000 | $21,000 | thousands by filing date | principal |
| VERASTEM INC | 92337C104 | COM | 17,110 | $21,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 18,000 | $19,000 | thousands by filing date | principal |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 16,400 | $19,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 10,458 | $18,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 19,000 | $18,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 16,000 | $16,000 | thousands by filing date | principal |
| KOPIN CORP | 500600101 | COMMON STOCK | 11,000 | $15,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 12,000 | $15,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 10,000 | $15,000 | thousands by filing date | principal |
| FORTIVE CORP | 34959JAK4 | NOTE 0.875% 2/1 | 14,000 | $14,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 14,000 | $14,000 | thousands by filing date | principal |
| MCEWEN MNG INC | 58039P107 | COM | 12,900 | $14,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 14,000 | $13,000 | thousands by filing date | principal |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 66,215 | $11,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 16,500 | $11,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 25,150 | $11,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 10,000 | $10,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 10,000 | $10,000 | thousands by filing date | principal |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 20,000 | $8,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,950 | $8,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 42,790 | $6,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 16,200 | $6,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 18,909 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-012002 | this filing | 2020-11-16 | acceptance time not in the bulk data set |